JC
Juliana L. Coates
VANGUARD ADVISERS
MALVERN, PA 19355
Some features on this profile are disabled
CRD#: 7201055
JC
Professional summary
Juliana Laure Carol Coates, who also goes by Juliana L C Coates, Juliana Coates, is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Malvern, Pennsylvania and VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania.
Juliana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Juliana has worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Juliana L C Coates | Juliana Coates
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355 NAME OF BUSINESS: SELF-EMPLOYED NON-INVESTMENT RELATNEW HOLLAND, PA NATURE OF BUSINESS: WRITING POSITION: FREELANCE WRITER START DATE: 01/2025 APPROX. HOURS/MONTH: 15 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: WRITE ARTICLES NAME OF BUSINESS: SELF EMPLOYED NON-INVESTMENT RELATED: ADDRESS: LANDCASTER, PA NATURE OF BUSINESS: TENNIS POSITION: TENNIS INSTRUCTOR FOR RACQUET CLUB WEST START DATE: 07/2023 APPROX. HOURS/MONTH: 9 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: Supporting tennis instructors with lesson plans, lead on-court activities as needed. NAME OF BUSINESS: POWER OF ATTORNEY FOR FATHER INVESTMENT-RELATED ADDRESS: DOWNINGTOWN, PA START DATE: 05/2014 APPROXIMATE HOURS/MONTH: 1 HOURS DEVOTED DURING TRADING HOURS: 0 NAME OF BUSINESS: POWER OF ATTORNEY FOR MOTHER INVESTMENT-RELATED ADDRESS: DOWNINGTOWN, PA START DATE: 05/2014 APPROXIMATE HOURS/MONTH: 1 HOURS DEVOTED DURING TRADING HOURS: 0
CRS (Client Relationship Summary) - RIA
Click below to view Juliana Laure Carol Coates's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 1, 2022 - Present
VANGUARD ADVISERS, INC.
Office #1: 100 Vanguard Blvd, Malvern, PA 19355RIA
CRD#: 106715
MALVERN, PA
Current
June 30, 2022 - Present
VANGUARD MARKETING CORPORATION
Office #1: 100 Vanguard Blvd, Malvern, PA 19355BD
CRD#: 7452
Malvern, PA
Past
January 4, 2021 - June 29, 2022
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
SARATOGA SPRINGS, NY
Past
June 25, 2020 - June 29, 2022
GOLDMAN SACHS WEALTH SERVICES, L.P.
RIA
CRD#: 106693
Saratoga Springs, NY
Past
January 24, 2020 - January 4, 2021
MERCER ALLIED COMPANY, L.P.
BD
CRD#: 37404
LATHAM, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VA
VANGUARD ADVISERS, INC.
VANGUARD ADVISERS INC | VPAS VPFP VFS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS | VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
RIA
Registered Investment Advisory firm - (7/28/1995 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Pennsylvania(6/30/2022)
IAR
Pennsylvania(7/1/2022)
IAR
Texas(7/5/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/24/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VA
VANGUARD ADVISERS, INC.
VANGUARD ADVISERS INC | VPAS VPFP VFS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS | VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
RIA
Registered Investment Advisory firm - (7/28/1995 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
100 Vanguard Blvd, Malvern, PA 19355
Mailing Address
Phone number
(610) 669-1000
Established
Firm type
Fiscal year end
# of Employees
2,225
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
